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Securities Industry Essentials

Program Overview

Do you have a good combination of analytical and customer service skills? Are you interested in working in a high-energy, fast -paced industry? If so, you may want to consider a career in the financial securities industry. Many companies such as Charles Schwab, Merrill Edge, Nationwide, Vanguard, and Wells Fargo are seeking entry-level professionals who have already received fundamental training in financial securities and who possess professional industry certification.

Scottsdale Community College offers a 4-credit Securities Industries Essentials [SIE] program that can be completed in as little as six weeks, to help prepare you for the FINRA® SIE® certification exam. The SIE® certification is a valuable, nationally recognized verification of your knowledge of fundamental concepts of the securities industry.  Courses include an overview of investments and an exam prep course. Upon completing these courses, students will be well-prepared to take the Financial Industry Regulatory Authority [FINRA®] SIE exam, required for entry level-positions in the securities industry.

Required Courses

GBS261 Investments I – 3 credits: Evaluation of various investment forms including study of inflation, taxation, government securities, stocks and bonds, real estate and retirement plans. Securities industry knowledge and skills for individuals to prepare for careers in Financial Services. Includes capital markets, types of products and their risks, trading, customer accounts, prohibited activities, and regulatory agencies and their functions. 

GBS261LL Securities Industry Essentials [SIE] Exam Prep – 1 credit: Focuses on reviewing key concepts, practicing skills, and preparing to successfully demonstrate existing knowledge on the SIE certification exam. The course is designed to provide an overview of exam topics and study and test-taking strategies. It also will include structured study time, group discussions, and the use of practice exams to assess test readiness.

Course Format

Classes are available online as either “Live Online” (whereby students participate online on specific days and times) or as “On Your Time” online (whereby students can complete requirements on their own time).


To be determined.